Senior Litigation Counsel, Enforcement

Min 10 yrs required

Full-time

No

Senior Litigation Counsel, Enforcement - Any FINRA Location

Full Time

R-007844

Overview:

- The Senior Litigation Counsel represents FINRA in complex disciplinary and non-disciplinary proceedings nationwide.
- They also handle appeals before the National Adjudicatory Council and provide guidance to other departments on legal issues.
- This position requires a law degree, admission to the bar, and a minimum of 10 years of litigation experience.

Responsibilities:

- Represent FINRA in complex disciplinary proceedings involving violations of federal securities laws and SRO rules.
- Handle non-disciplinary hearings and litigation arising from expedited proceedings, statutory disqualification decisions, and membership application decisions.
- Argue appeals before the National Adjudicatory Council and draft appellate briefs.
- Provide guidance to other departments on issues related to statutory disqualification, member application denials, and waiver/exemption requests.
- Draft legal documents, including complaints, motions, and briefs.
- Coach and advise staff on litigation strategy and conduct direct and cross examinations of hearing witnesses.
- Oversee pre-hearing tasks and ensure team members are adequately prepared for hearings.
- Conduct litigation consults and provide counsel on potential litigation concerns.
- Conduct legal research and prepare advocacy documents.
- Negotiate settlements with respondents and their attorneys.
- Collaborate with other departments within FINRA as needed.

Requirements:

- Law degree and admission to the bar.
- Minimum of 10 years of litigation experience with first-chair trial experience.
- Excellent litigation, oral, and written communication skills.
- Comprehensive knowledge of trial techniques and federal securities laws.
- Strong interpersonal and organizational skills.
- Willingness to work outside of normal business hours and travel overnight if necessary.

Salary Information:

- California: Minimum Salary $146,200, Maximum Salary $296,100
- Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800
- Colorado/Hawaii: Minimum Salary $127,300, Maximum Salary $246,600
- New York, NY: Minimum Salary $152,700, Maximum Salary $296,100
- Washington: Minimum Salary $127,300, Maximum Salary $283,800

Benefits:

- Comprehensive health, dental, and vision insurance.
- Basic and supplemental life insurance.
- Short and long-term disability insurance.
- Immediate participation and vesting in a 401(k) plan with company match.
- Tuition reimbursement and other benefits.

Time Off and Paid Leave:

- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year).
- 2 volunteer service days.
- Other paid leave includes military leave, jury duty leave, bereavement leave, and more.
- Full-time employees receive 9 paid holidays.

Important Information:

- Employees must comply with FINRA's Code of Conduct and disclose all brokerage accounts they maintain.
- Employees may only maintain securities accounts at firms that provide an electronic feed to FINRA.
- Employees must also sign a confidentiality and invention assignment agreement and comply with the company's nepotism policy.

Equal Opportunity Employer:

- FINRA is an equal opportunity and affirmative action employer.
- All qualified applicants will receive consideration for employment without regard to age, citizenship status, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status, or any other classification protected by federal, state, or local laws.
- FINRA abides by the requirements of 41 CFR ) and 41 CFR ) to employ and advance qualified individuals with disabilities and protected veterans.

Apply Now:

- To be considered for this position, please submit an application on the FINRA Careers site.
- Applications are accepted on an ongoing basis.

Disclaimer:

- The information provided above is a general overview of the position.
- It is not a comprehensive list of all duties, responsibilities, and qualifications required.
- If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser.
- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity.

Not specified.

Comprehensive health, dental, and vision insurance, Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal insurance, 401(k) plan with company match, FINRA-funded retirement contribution, tuition reimbursement, 15 days of paid time off, 5 personal days, 9 sick days, 2 volunteer service days, military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, childbirth and parental leave, 9 paid holidays.

Not specified.

Litigation, Trial, Appeals, Legal Research, Negotiation, Oral and Written Communication, Interpersonal, Organizational, Coaching, Training, Collaboration, Project Management.

Law degree.

Submit an application.

Qualification and Experience Law degree and admission to the bar, Minimum of 10 years of litigation experience, First-chair trial experience, Comprehensive knowledge of federal securities laws, Trial techniques, Federal Rules of Evidence, and Federal Rules of Civil Procedure.

Legal